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AML/CFT Compliance Officer Essentials

The compliance officer role at a reporting institution is frequently handed to someone with a finance or operations background and a short handover. This day covers what the job actually requires: running due diligence that stands up to examination, screening properly rather than nominally, deciding whether an internal escalation becomes a report, and writing that report so it is useful to the recipient rather than merely filed.

Programme Agenda

The Compliance Officer's Mandate

Where the appointment comes from, what the role owns, and the independence and reporting line it needs. Board and senior management responsibilities that cannot be pushed down into the function.

Customer Due Diligence End to End

Identification and verification, beneficial ownership to the required threshold, purpose and intended nature of the relationship, and ongoing due diligence. Handling structures designed to obscure ownership.

Enhanced Due Diligence and Risk Rating

Deciding when EDD is triggered, what it must add, and how a customer risk rating is built from country, product, channel and customer factors. Keeping the rating current rather than set at onboarding.

Politically Exposed Persons

Domestic and foreign PEPs, close associates and family members, source of wealth versus source of funds, and the senior approval requirement.

Sanctions and Targeted Financial Sanctions

Screening against the relevant lists, name matching and false positive handling, the freeze-and-report obligation on a true match, and screening at the right points in the relationship rather than only at onboarding.

Transaction Monitoring

Rule design, threshold setting, alert triage and the discipline of closing an alert with a reasoned note. Why a monitoring system generating no alerts is a finding, not a success.

Preparing a Suspicious Transaction Report

Moving from internal escalation to a filed report. Writing the grounds for suspicion clearly, attaching the right supporting material, timeliness, and what to do with the relationship afterwards.

Record Keeping and Examination Readiness

Retention periods, retrievability, and assembling the file an examiner asks for. Common findings and how to avoid producing them.

Learning Outcomes:
Define the compliance officer mandate and the independence it requires
Run customer due diligence including beneficial ownership identification
Trigger and conduct enhanced due diligence, and maintain a live risk rating
Handle PEP relationships including source of wealth enquiry and senior approval
Operate sanctions screening and act correctly on a true match
Design and triage transaction monitoring alerts with defensible closure notes
Prepare a suspicious transaction report that states clear grounds for suspicion
Keep records that can be produced on examination without reconstruction

Duration: 1 Day (8 Hours)
Training Hours: 9:00 AM to 5:00 PM
Level: Beginner
Training Mode: Physical, Online, or Hybrid
HRD Corp SBL-KHAS Claimable
Certificate of Completion included

Frequently Asked Questions

Newly appointed compliance officers and their deputies, operations and onboarding staff moving into compliance, internal auditors covering AML, and managers at reporting institutions who supervise the function.

No. This is the entry tier for the role. Participants with two or more years running an AML function are usually better served by the Advanced programme.

Yes. Money services businesses, capital market intermediaries, company secretaries, accountants, lawyers and dealers in precious metals and stones all appear in the examples, and in-house delivery is built around your own sector.

No. It is practical training on running the function rather than an examination course. Participants pursuing a certification often take this first to build the working context.

Yes, this programme is HRD Corp SBL-KHAS claimable. Our team can assist your HR department with the documentation required for the grant application.

Yes. Any programme can be booked as a team day. Everyone works the same brief together, so your people come away having built something and knowing each other better.

If you are claiming under HRD Corp, the session has to fall at least 14 days after your HRD Corp approval. If you are not claiming, the date is flexible and we work around your calendar.

Put them on the self-paced e-learning instead. Your team works through the modules on our LMS in their own time, sits the assessment, and earns the same certificate, so nobody has to clear a full day together.

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